John M. Sweeney
Professional summary
John Michael Sweeney, CFP®, who also goes by John Sweeney, is a registered financial professional currently at BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1996. John has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Michael Sweeney's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1998
Experience
September 23, 2021 - Present
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
Office #1: 225 Liberty Street 35th Floor, New York, NY 10281March 11, 2021 - December 22, 2021
BROOKFIELD PRIVATE ADVISORS LLC
June 19, 2018 - December 22, 2021
INDEPENDENT BROKERAGE SOLUTIONS LLC
January 5, 2015 - May 22, 2015
QUASAR DISTRIBUTORS, LLC
May 9, 2013 - November 24, 2021
OCM INVESTMENTS, LLC
June 1, 2009 - May 31, 2013
MORGAN STANLEY
May 21, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 14, 2005 - May 26, 2006
MORGAN STANLEY & CO. LLC
January 30, 1996 - May 24, 2006
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/14/2021)
(10/15/2021)
(10/14/2021)
(10/12/2021)
(9/30/2021)
(10/12/2021)
(10/8/2021)
(10/18/2021)
(11/29/2021)
(10/27/2021)
(10/22/2021)
(9/29/2021)
(9/30/2021)
(11/17/2021)
(10/19/2021)
(10/8/2021)
(10/8/2021)
(10/8/2021)
(10/8/2021)
(10/12/2021)
(10/7/2021)
(11/18/2021)
(10/8/2021)
(11/22/2021)
(10/8/2021)
(11/5/2021)
(9/30/2021)
(10/26/2021)
(10/8/2021)
(10/8/2021)
(10/5/2021)
(10/8/2021)
(9/29/2021)
(10/13/2021)
(10/6/2021)
(10/12/2021)
(10/5/2021)
(10/8/2021)
(10/15/2021)
(12/15/2021)
(10/8/2021)
(10/8/2021)
(10/8/2021)
(10/11/2021)
(10/26/2021)
(10/8/2021)
(10/8/2021)
(11/8/2021)
(10/18/2021)
(10/8/2021)
(10/8/2021)
(10/19/2021)
(10/8/2021)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC
CRD#: 313390 / SEC#: , 8-70722
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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